DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

T•• S••••••••• G••••• I•••

Former SEC-registered adviserPhiladelphia, PennsylvaniaCRD 107056SEC 801-58069IAPD
Latest filing Mar 29, 2022
First filing on the tape Mar 28, 2012 · 18 filings
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.2%
$3.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.5B as of Mar 29, 2022
Mar 28, 2012$1.3B then
HNW client RAUM$3.7M as of Mar 29, 2022
Mar 27, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 29, 2022
Mar 28, 20130 then
Employees (5.A)10 as of Mar 29, 2022
Mar 28, 201313 then
Private funds1 as of Mar 28, 2013
Mar 28, 20121 then
RAUM -2.1% over the last fiscal year+1.6% a year over threeIARs 0 to 0offices 2 to 0
Practice profile
derived from the filing of Mar 29, 2022; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$926,696derivedHNW RAUM over HNW clients
Average account
$33.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
59%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-2.1%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$604M41%
  • Pension and profit-sharing plans$311M21%
  • State and municipal entities$267M18%
  • Charitable organizations$196M13%
  • Insurance companies$104M7.0%
  • High-net-worth individuals$3.7M0.2%
Individual clients
0reported
HNW clients
4reported
Pension plan clients
7reported
Charitable clients
6reported
Accounts
45reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    T•• R•••• G••••• F••• P••no longer reportedHedge Fund$105,8451Mar 28, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • C•••••• D•••••• M• · Chief Compliance Officercontrol
      since 11/2018 · owns less than 5%
    • N•••••• J••••• E•••• · Chairman Of The Boardcontrol
      since 01/1992 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 40 to 45
      Mar 26, 2021 to Mar 29, 2022
    • Charity clients · 11 to 6
      Mar 26, 2021 to Mar 29, 2022
    • Corporate clients · 11 to 5
      Mar 26, 2021 to Mar 29, 2022
    • Other offices · 2 to 0
      Mar 26, 2021 to Mar 29, 2022
    • Discretionary RAUM · $1.5B to $1.5B
      Mar 26, 2021 to Mar 29, 2022
    • HNW RAUM · $4.4M to $3.7M
      Mar 26, 2021 to Mar 29, 2022
    • Pension RAUM · $224M to $311M
      Mar 26, 2021 to Mar 29, 2022
    • RAUM · $1.5B to $1.5B
      Mar 26, 2021 to Mar 29, 2022
    • Accounts · 35 to 40
      Jul 20, 2020 to Mar 26, 2021
    • Charity clients · 9 to 11
      Jul 20, 2020 to Mar 26, 2021
    • Corporate clients · 9 to 11
      Jul 20, 2020 to Mar 26, 2021
    • HNW clients · 3 to 4
      Jul 20, 2020 to Mar 26, 2021
    • Employees · 12 to 10
      Jul 20, 2020 to Mar 26, 2021
    • Financial planning clients · 0 to 1-10
      Jul 20, 2020 to Mar 26, 2021
    • Other offices · 0 to 2
      Jul 20, 2020 to Mar 26, 2021
    • Discretionary RAUM · $1.4B to $1.5B
      Jul 20, 2020 to Mar 26, 2021
    • HNW RAUM · $3.1M to $4.4M
      Jul 20, 2020 to Mar 26, 2021
    • Pension RAUM · $179M to $224M
      Jul 20, 2020 to Mar 26, 2021
    • RAUM · $1.4B to $1.5B
      Jul 20, 2020 to Mar 26, 2021
    • Accounts · 34 to 35
      Mar 27, 2019 to Mar 28, 2020
    • Advisory employees · 5 to 4
      Mar 27, 2019 to Mar 28, 2020
    • Corporate clients · 10 to 9
      Mar 27, 2019 to Mar 28, 2020
    • HNW clients · 0 to 3
      Mar 27, 2019 to Mar 28, 2020
    • Employees · 11 to 12
      Mar 27, 2019 to Mar 28, 2020
    • Discretionary RAUM · $1.4B to $1.4B
      Mar 27, 2019 to Mar 28, 2020
    • HNW RAUM · $0 to $3.1M
      Mar 27, 2019 to Mar 28, 2020
    • Pension RAUM · $170M to $179M
      Mar 27, 2019 to Mar 28, 2020
    • RAUM · $1.4B to $1.4B
      Mar 27, 2019 to Mar 28, 2020
    • Accounts · 38 to 34
      Dec 27, 2018 to Mar 27, 2019
    • Advisory employees · 6 to 5
      Dec 27, 2018 to Mar 27, 2019
    • Advisory activities · 2 to 4
      Dec 27, 2018 to Mar 27, 2019
    • Charity clients · 8 to 9
      Dec 27, 2018 to Mar 27, 2019
    • Corporate clients · 11 to 10
      Dec 27, 2018 to Mar 27, 2019
    • Employees · 12 to 11
      Dec 27, 2018 to Mar 27, 2019
    • Discretionary RAUM · $1.8B to $1.4B
      Dec 27, 2018 to Mar 27, 2019
    • Pension RAUM · $170M to $170M
      Dec 27, 2018 to Mar 27, 2019
    • RAUM · $1.8B to $1.4B
      Dec 27, 2018 to Mar 27, 2019
    • Accounts · 47 to 38
      Mar 29, 2017 to Mar 27, 2018
    • Charity clients · unset to 8.0
      Mar 29, 2017 to Mar 27, 2018
    • Corporate clients · unset to 11.0
      Mar 29, 2017 to Mar 27, 2018
    Signals
    2 dated events
    • J••• B••••• D•••••• left T•• S••••••••• G••••• I••• for B•••• R•• I••••••••• L•• (registered 2023-03-08)
      Dec 31, 2022 · Advisor changed firm · fact
    • Anthony Mark Rogozinski (Ceo) no longer on Schedule A of T•• S••••••••• G••••• I••• (listed 2019-03-27, absent 2020-03-28)
      Mar 28, 2020 · Control person left · inference
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026